CoE9Prlig?tion (3rd ed.

'
f rom: M. I(napp & J. Dary (Eds.), ttSrylbookot Interpefso9al
pp. lO2-I29>. Newbury Parkl CA: Sage' 7Oc>>

DiscourseAnalysis

JANET BEAVIN BAVELAS

C H R I S T I N E ,K E N W O O D
BRUCE PHILLIPS

n this chapter, we first define discourse
analysisand illustratethe breadthof its use-
fulnessas a researchmethod. \Ue also empha-
size how choosing to use this method can be
part of a larger changeof rheoreticalperspec-
tive. lVe devote the rest of the chapter to one
of the main purposesof a handbook such as
tlis one, which is to assistreadersin the useof
the method; thus we include many hands-on
issues,such as choicesabout data, recording,
transcription, and reliability. ln reviewing
theseissues,we focus on principles that might
be useful for helping readersto develop new
and original methods of discourse analysis
that suit their particular interestsand goals,
guided by explicit theoretical assumptions.
WHAT IS DISCOURSEANALYS$?
Discourse analysis is the systematic sudy of
naturally occurring (not hyporhetical)comrnu-
nication in the broadest sense,at the level of
meaning (rather than as physical acts or
features).However, a survey of the literature
on discourse analysis would quickly reveal
that, although some r€searchersemploy the

AUTHORS' NOTE: We acknowledge the contributions of Dr. Linda Coatcs to the planning of this chapter, the Social
kiences and Humanines RescarchCouncil of Canada for rescarchgrants to the first author, and our continuing rescarch
team for sharing our daily immersion in theseissues,

102
Discourse Analysis
terrn to describea particular kind of analysis,
it is also a label that has widespreadusage
across several disciplines with diverse goals.
Consequently,it is more accurateto think of
discourse analysis as a cluster of methods
and approacheswith some substantial com-
rnon interestsrather than as a single, unitary
technique,
As Vood and Kroger (2000,p. 18)explain,
rhe existence of several kinds of discourse
analysisis undoubtedly due to the developing
nature of the field as well as to its diversedis-
ciplinary origins. Discourse analysisbegan in
branchesof philosophy, sociology,linguistics,
and literary theory, and it is continuing to
develop in additional disciplines such as
anthropology,communication,education,and
psychology.We find this newnessand diver-
siry a positive feature of the field. It is not
hound by any single discipline, which means
that there is a rich infusion of ideas and
methodsacrossdisciplines.Nor is it commined
ro traditions of the past;indeed,many discourse
analystsare rebelsand innovators within their
own home disciplineswho have moved out to
toin other like-mindedresearchers.
It is intriguing that one of the original
meaningsof the verb discoursewas "to travel
rcrossa courseor terrain." !0e like to think of
Jiscourseanalysisas still doing that, traveling
rc{oss many disciplines,often into new terri-
tory, rather than stayingin one place.In that
'pirit, in this chapterwe travelthrough (but by
no means claim hegemonyover) the many
Jomains of discourseanalysis and a wide
variet/ of other territories where researchers
srudy naturally occurring language,including
ionversation analysis, microanalysis, ethno-
eraphy, some areas of nonverbal communi-
carion, and mediated communication. fu is
.rppropriateto this kind of intellectualinterna-
rionalism, the stimulus for our survey of defi-
nrrionsand approachesis a traveler'scuriosiry
rbout how people do things differently rather
:han any goal of standardization.
103
Defining Discourse
In new disciplines,familiar terms often take
on new specializedor professional meanings
rhat differ from their commonly usedinformal
or everyday definitions. Discourse analysis is
no different.Van Dijk ll997c) points out that
the term discourseis commonly used to refer
to a particular form of languageuse (e.g.,
public speeches)or more generally to spoken
language or ways of speaking, such as the
"the discourse of former President Ronald
Reagan."Another informal usagerefersto the
ideasor philosophiespropagatedby particular
peopleor groups of people (van Dijk, 7997c,
pp. 1-2). In this usage,van Dijk notes, the
actual languageused by a person or personsis
ignored in favor of a focus on the ideas or
philosophies expressed,According to van
Dijk, the more specializedor professionaldefi-
nition of discourseincludes a particular focus
on the actual languageused in a communica-
tive event. A discourseanalyst is essenrially
interested in "wbo useslanguage, hou, why
and uthen" (van Dijk, 1997c, p. 3). So, for
example, a discourse analyst might examine
talk occurring during encounterswith friends,
phone calls, iob interviews,doctor's visirs,and
so forth.
Van Diik (1.997c)also toucheson another
imponant distinction when he points out that
languagecan be spoken, wrirten, or printed.
Each kind of languageuse, he nores, has dis-
tinct propercies;for example,the communica-
tion may be passive(asin when an individual
readsa newspaper),more ective (as in e-mail
communication), or fully active (as in face-to-
face dialogue). It is important that researchers
considerthesecharacteristicswhen conducting
analyses.Van Diik's inclusion of both spoken
and written forms of languageuse is a fairly
common view (e.g.,Gilben 6c Mulkay, 1984;
Potter 6( Wetherell, 7987, p. 7; rDfood &
Kroger, 2000, p. 19). It is not the case,how-
ever, that all discourse analysts agree. Some
t04
would reservethe term discoursefor spoken
language and use the term text to describe
wrinen or printed language; others use the
two lerms interchangeably.Most researchers
define discourseas the activitiesof speakingor
wriring. but there are some researcherswho
include other aspects of communication in
their definitionsas well, Brown (1995)studied
the role of listeners as they parricipate in
dialogues,and Kroger and Wood (2000)point
out rhat some theorists, such as Fairclough
(1993) and Hac€ (1995),haveeftendedthe
'semiotic
definrtion of discourse to include
practicein other semioticmodalities"(p. 19).
That is, rheseresearchershave a broader defi-
nition of discourse that includes not only
words (spokenor written) but also other kinds
of meaningfuicommunication,such as visual
imagesand nonverbal movements(e.9.,ges-
tures). Our researchgroup can be counted
among those who accept all of these broader
definitions.
Finally, there are some implicit agleements
among discourse analysts that become signi-
ficant in contrast to other approaches to
language and communication. Discourse
analysts would always look closely at the
actrlallanguageitself rather than ar secondary
sourcessuchas reportsor descriptionsof what
rvassaid,meant,or understood,That is, virtu-
ally all discourseanalystswould agreewith
rhe conversationanalysts,such as Atkinson
and Heritage (1984), who useonly data from
behaviors generated in their own context.
The observers' and participants' descriptions,
lnrerpretations,and comments on conver-
sations are necessarilygathered in different
iontexts, for different purposes, and these
rnevitably affect the descriptions, These
reports might be analyzed as "accounts"
Scott 6a Lyman, 1990) or as "remembering"
.rs opposed to "memory"; Banlea, 1932;
Edwards 6< Middleton, L987), but they are
rot substitutesfor the discoursethey describe.
PERSPECTIVESON INQUIRY
Kinds of Discourse Data
Another way to define discourseis to illus'
trate some of the many possible sources of
data for discourseanalysis. Face-to-facedia-
logue occurs in families, in most workplaces
and public places,in psychotherapy,in courr-
room s€ttings (e'g., examination and cross-
examinadon), in police interviews, in medical
examinadons and interviews, on social occa-
sions,in classrooms,in meetings,and some in
psychology exPeriments'to name iust a few
seftings,l
lndividuals communicatein writing through
memos and lefters, when they post notices'
when they publish books and articles, when
professorswrite commentson students'exams
or papers,and in many other settings.
Mediated communication includes tele-
phone conversationsand communicadonvia
answeringmachinesor voice mail, radio call'
in shows, and comPuter-mediatedforms such
as e-mail, Internet chat rooms, and bulletin
boards. In the massmedia, mediated corlmu-
nication occurs through newspapers' comic
strips, TV talk shows, and political interviews.
We provide more examPlesthroughout this
chapter,especiallyin the sectionson recording
and transcription, Undoubtedly, readers can
immediatelythink of many other exampleswe
have not mentioned here.
Levels of Analysis
Nunan (19931,whocomesfrom a more lin-
guistic background,takes an evendifferent cut
at the definition of discourse'He usestert to
refer to the wrinen or taped record of a com-
munication event and discoutseto refer to the
interpretation of that event in the context in
which it occurs. For Nunan, the difference
betweentext analysisand discourseanalysisis
that the former is the srudy of formal linguis-
tic devicesthat distinguisha text from random
sentences,whereasthe lafter is also the study
Discourse Anelysis
of such devices but is conducted by the
researcher wirh the intention of coming to
understand the purpose and function of the
discourse as well as the context in which it
developed (p. 20). What he calls discourse
analysisinvolves languageas it is being used,
whereas text analysis is concerned with
pafterns and regularities thar occur in written
language, such as phonemic or grammatical
analyses. That is, discourse analysis is
concerned with panerns and regularities in
language but also with the people using
language(what they mean and the purpose to
which language is put) and the context in
which it is used. Nunan (1993) says of dis-
course analysts, "Their uldmate aim is to
show how the linguistic elements [found in
languageJenablelanguageusersto communi-
catein context' (p. 20). Thus Nunan's interest
in linguistic elements leads him to study,
among other things, linguistic devicessuch as
pronoun usage and conjunctions that enable
people to build explicit relarionshipsbeween
enritiesand eventsin their discoursewith each
other in different contexts(p. 57).He is also
interested in analyzing how smaller compo-
nents of languagecontribute to broader social
meanings.Thus his researchspanstwo levels
in that he breaks discourse down into its
component parts and also looks at how the
parts contribute to the formation of meaning
in socialcontexts.
Although they often use different terms,
other researchersoften make the samekind of
distinction (between analyzing parts of lan-
quageversusbroader issuesof meaning)when
outlining their positions.Stubbs(1983)distin-
guishesbenveenlanguageanalysishlow the
It'vel of the sentenceand "language above the
jentenceor abovethe clause"(p. 1; quoted in
khiffrin, 1994, p.23). Schiffrin (19941 pro-
posesthat the distinction is berweenformalist
or structurulist) and functiowlist views of
).rnguage. Linell (1998)makesa similarpoint:
105
Languagecan be conceptualizedin basically
two ways, es systetflor strrrcture, or as dri-
course, practice (praxis) or communication.
If one gives priority to the former, we can
talk about a formalist(ic) framcwork; here,
linguistic expressions can be treated in
abctracto. Priorities to the latter yield a more
functionalist(ic) paradigm; its focus on com-
municative meaningsand functions makes it
necessaryto take contextsinto account. (p. 3)
Ve have already encountered a functionalist
view in van Diik's (1997c\ stated interest in
"zlro uses languagc, how, uhy and when"
(p. 3). Vith respect to our own research
group's approach to discourse analysis, we
take a strongly functional approach, focusing
mainly on how dialogue works and what a
panicular phenomenonis doing (or how it
works) in its immediate communicative
context.
So far, we have looked at discourseana-
lysts who are concernedprimarily with lan-
guage use, that is, at researcherswhose main
interesris in what is said or written. However,
some analysts focus on the kind of discourse
that involves ideas or philosophies propa-
gatedby particular people or groups of people
(van Dijk, 7997c, pp. 1-2). Analystssuch as
Caldas-Coulthardand Coulthard ( 1995b)call
themselvescritical linguists and, along with
researcherssuch as Fairclough ij992), Fowler
(L9961,and Hodge and Kress (1993), call
their research critical discourse analysis
(CDA), which they define as "an analysisof
public discourse,an analysisdesignedto get
at the ideology coded implicidy behind the
overt propositions,to examine it particularly
in the context of social formations' (Fowler,
1 9 9 6 ,p . 3 1 .
In CDA, the focus is not entirely on the
actual words written or spoken but also on the
representationsimplicit in the words. This
kind of analysis,one might observe,can be far
abovethe level of the sentence,becauseir may
 106
be less concerned with what is spoken or
wrirten and more concernedwith the broader
message,philosophy, ideology, or idea con-
veyed. CDA might, for example,reveal thar
particular views of genderor racemisrepresent
or disron characterisricsof the people repre-
sented.The goal of critical discourseanalysrs
is to expose the misrepresenrationor distor-
tion in order to "defamiliarize"the public at
largewith the negativerepresenration:
Discourse is a maiorinstrumentof powcrand
controland CriticalDiscourse
Analysts. . .
fecl that ir is indeedpan of their profcs-
sionalrole to investigate, revealand clarify
how power and discriminatoryvalue are
inscribedin and mediatedthroughthe lin-
guisticsystem: CriticalDiscourseAnalysisis
essenriallypoliticalin intentwith its practi-
tioners acting upon rhe world in order
to transformit and therebycreatea world
wherepeopleare not discriminated
against
bccause of sex,colour,creed,ageor social
class. (Caldas-Coulthard 6c Coulthard.
7995a,p. xil
Parker (79921,a socialpsychologisr,advo-
cates a similar kind of critical analysis. His
particular interestis on the role of discoursein
the reproduction and transformation of mean-
ing. Discourses "both facilitate and limit.
enable and constrain what can be said (by
whom, where,when)" (p. xiii). Parkerdefines
discourseas 'sets of statementswhich consti-
rute an objec" (p. 3; seealso p. 5). His goal,
like that of Caldas-Couhhardand Coulthard,
is unequivocally emancipatory.That is, he
endeavorsto revealproblematicviewsas such.
He statesrhe casequite strongly, mainraining
that an "amoral/apoliticalpsychologyis worse
than useless"(p, 2).
I(rithin rhe writings of crirical discourse
analysts, the rerm text has a different (and
more complex) meaning frorn the ones dis-
cussed above, which usually define it as
written recordsof discourse.As Parker(1,9921
explains:
PERSPECTIVES
ON INQUIRY
I want to open up the field of mcanings to
which dirourse analysis could bc applied
beyond spokeninteraction and wrinen forms
by saying that we find discoursesat work in
terts. Tex6 are delimited tissuesof meaning
reproducedin any form that can be given an
interpretativegloss,(p. 5)
He provides an example rhat is useful in clari-
fying his meaning. He describesan electronic
game that displaysa small moving male figure
waving a crucifix at ghosrs descendingfrom
the top of the screen to their graves. Each
ghost that is prevented from landing by the
crucifix-waving man is consumed in flames,
and the player is awarded 10 points. This, in
Parker'sview, is a text that conveysChristian
discourse. (Interestingls we can also see by
Parker'sexamplethat he is another researcher
who extends the meaning of discourse to
include means of communication in addition
to written and spoken languageuse.)
Language and Reality
One funher imporrant difference musr be
menrioned.Discourseanalystsclearly differ on
how they conceiv€ rhe relation berween lan-
guageand realiry.'We usethe terrnsrealist and
antirealist ro refer to rwo contrastingpositions
with respectto their subject maner. In stating
the distinction so briefly, we identify the cru-
cial issue;however, as is often the case with
brevity,we risk oversimplifyingat the cost of
the loss of finer distinctions. Here we aftempr
only to introduce some of the issuesinvolved.
Some analysts, such as critical discourse
analysts among many others, are realists in
that they maintain that cenain descripdonsor
constructionsof realiry are more accuratethan
and preferableto others, even if nor perfectly
accurate and universally valid. lmponant in
this view is the idea that it is possible to
replace unfair, inaccurate constructions or
representationswith fairer and more a@urate
represenrations.Note that only if there is a
 Discourse Analysis
real realiry can any representationof it be seen
f,s accurat€or inaccurate,
The poinr at which this topic becomes
;omplex and somerirnes very confusing is
when we a$empt to answer the question,
\t(4rat is real? Most theorists (but not all)
rvould agree that the physical world exists.
However, theorists vary on whether the social
practicesand institutions createdby humans-
rvhich are therefore social constructions and
rvould not exist without human participa-
rion--should be consideredreal in the objec-
rive sense.Funher, theoristsalso differ on how
languageis related to reality, whether physical
or social.
Analysts such as Poner (1995) and Willig
rl999l are antirealists, who maintain that
reality in the commonly undentood meaning
of the term does not exist. IVhat exisr are
descriptions, constructions, and repres€nta-
rions that cannot be judged to be either true or
false.In explainingher position,\fil[g (1999)
proposes:
[These]discourseanalystsconceptualize
languageas consdtutiveof experience rather
than representationalor reflective[of experi-
ence].They argue that the linguisticcate-
gorieswe usein order to "describe"realiry
are not in fact reflectionsof intrinsic and
defining featuresof entities.Instead,they
bring into being the obiects they describe.
Furthermore,thereis alwaysmorethan one
way of describingsomethingand our choice
of how to usewordsto packageperceptions
and experiences givesrise to particularver-
sionsof eventsandof reality,It is in thissensc
that languagecanbesaidto constructreality,
(p. 2; emphasisadded)
In this view, realiry is itself a construction
made in language.Crucially lacking, antireal-
ists claim, are any universal standards by
rvhich to judge the veracity of any particular
representationor conscnrction.For example:
The (conventionall
assumption
is tharmean-
ing residesin movemenm-wejust needto
t07
identify the meaningcorrectly. But movements
have no inhcrent, essential meaning; rather,
they can be given multiple meanings by
different interpreters (and by the same inter-
preter on different occasions),meaningsthat
can vary acrosssituations, (Wood & Kroger,
2Q00,p. 12)
Having briefly described the range of realisr
and antirealist positions, we would like to
clarify our own position here. First, it is
important to distinguish berween physical
eventsor objects in the world and the mean-
ingsof thoseeventsor objects.Supposesome-
one opens a door in the presenceof another
person.It is possibleto say that this event is
real in the sensethat a movementoccurredand
the door is now open. However, this move-
ment can take on almost any meaning,
depending on context and interpretation: It
could mean that the person who opens the
door is declaring an intention to carry out a
requestederrand or an intention ro leave the
relationship; that he or she is just letting in
fresh air or implicitly complaining about
smoking; that he or she is advenising that the
ensuing conversation is to be public rather
than "behind closeddoors"; and so forth. In a
great deal of social life, such interpretations
are elastic,as the antirealistspropose.The rwo
individuals in the room can disagree about
what the act means,and either of them can
change(or lie about) what he or she says it
means.However, we would point out rwo sig-
nificant qualifications on this elasdcity. First,
there are occasionswhen cenain meaningsof
eventsare nor negoriable.lf the door is a hatch
on a deeply submergedsubmarine,then open-
ing it means,among many other things, that
unprotected occupants are (really) going to
die. Second,for a great deal of what we do in
everydaylife, there is substantialsocial con-
sensusabout meaning.Opening a door ahead
of another person who is walking toward it
usually meansholding the door open for that
person, and the other is very likely to go
r08
through the doorway first. The possibility that
the act could sometimesbe a trap or a ioke
does not obviate the higher likelihood that it
was an act of courtesy; indeed,that very con-
sensusmakesthe trap or ioke possible.Ve are
able to navigate social life becauseshereis a
great deal of consensusabout meaning;if this
were not so, almostno socialaction would be
possible.Perhapsone of our tasksshould be to
explore such consensusas a ropic in itself.
We can extend the same reasoning to a
discursive example: Iflhen a witness takes an
oath in a courtroom, this discursive act
changesthe statusof subsequenttestimooy.If
the witnesslies, he or she can then be prose-
cuted and imprisoned for perjury, a penalry
that does not exist in other senings.Therefore
the oath, its meaning, and its consequences
are, we could argue,effecrivelyreal although
clearlya socialconsrrucrion.
Summary
The reader can seeby now that rhe terrain
of discourseanalysisis varied but has some
common feaores. First, there are differences
berween what different analysts rreat as dis-
course, These range from just written (or just
spoken)languageto other modesof communi-
cation, such as nonverbal gestures.As well,
discoursecan be used to describea particular
ideology or philosophy that is implicit in dif-
ferent forms of languageuse.
It is not surprisingthat approachesro analy-
sis also differ. Some researcherslook at lan-
guagefrom a more strucnrral or formal point
of view in order to analyze,for instance,the
linguistic devicesthat can be seento constiilte
language. Other researchersrake a rnore
functional approach, looking at languageuse
in its social coDtext-for example, examining
questions about who uses language,when,
how, and for what puposes.
Finally, an imponant issuein the field is the
relation benryeenlanguage and reality. Some
discourse analysts mainrain chat language
PERSPECTIVESON TNQUIRY
describesor constructs different versions of
something real that exists independent of
language.The meaningsgiven can be more (or
less)accurate.Others maintain that there are
only versionsof reality; it is languageitself that
createsand constitutesrealiw.
NEW PERSPECTTVES
Discourseanalysiscan be a method that com-
plements existing communication research
tools (questionnaires, interviews,ratings,and
so on), to be used within traditional dreoreti-
cal ftameworks. Or it can be pan of a zub-
stantially different approach with several new
theoretrcal and methodological premises. Ve
descrih these alternative premises in rhis
section,noting thag although our researchgroup
has eventually adopted all of them, readers
may wish to considersomebut not others.
The Primacy of Discourse
A significant theoretical choice can be to
focus on the discourse itself rather than on
inferred intrapsychic (mental) processes,such
as cognition, emodon, modvation, abilities,
goals, intentions, attitudes, and personal-
icy characteristics. Communication is often
treated as secondary to rnental processes,in
one of two ways. First and most obviously,
communicativeacts may be of interest simply
becausethey provide a means of revealing or
studying mental processes.For example,
answers on questionnairesand resPonseson
radng scalesare typically seenas direct indica-
rions of anirudes and preferences,not as dis-
course. Similarly, interviews are usually seen
as a way of finding out what is on inter-
viewees'mindsrather than as dyadic commu-
nication ber,weeninterviewer and interviewee.
And many if not most studiesof facial expres-
sion derive from a primary interest in emotion
(e.g.,Ekman, 1993; but see also Bavelas&
Chovil, t997; Kraut & Johnston, 1.979).
Emotions are not directly observable, so the
 Discourse Analysis
srudy of facial expression is a preferred
behavioral method for inferring them. Used in
theseways, discourseis a behavioralmeansto
intrapsychicends.The alternativeis to become A. Yeah.
anracted to the discourseitself, treating it as
intrinsically interesting and wonh analyzing
in detail.
The second way in which researcherscan
treat discourse as secondary is to explain it
by mental models. That is, even when the
discourse is the initial focus of interest, the
focus quickly shifts to mencal process€srhar
might explain it. The questionof "why" indi-
viduals or groups communicate in particular
ways is most often answeredby hypothesized B. Oh Gina!
mental processes,such as their cognitions or
personality. If the cause is intrapsychic, the
discourse becomes merely an effect or by-
product and may not even be examined
closely. (For a fuller discussionof the prob-
lems with and alternatives ro this approach,
seeBavelas,1991.)
We can illustrate these issues with the
example of language production, which is
usually seen as the outcome of the speaker's them, and work out mutually meaningful
cognitive processes.There are many elaborate
cognitive models that explain how an indivi-
dual finds a word or produces sentences,and
of course sophisticatedmental processesmust
be involved in this most skilled of human
activities. However, Bavelas and Coates
(19921 have questioned whether existing
mental models of language production and
comprehensioncan account for the observed process€sat all. This proposal is not the same
precision and complexiry of dialogue. At the
very least, a thorough appreciation of the
nature of the discourse irself (versus hypo-
therical examples) must be the criterion by
which such modelsare generatedor iudged.
An even greater shift is to examine the
discourse of language production without
reference to mental models. Clark and
!flilkes-Gibbs (1986) proposed that the
speaker and addresseework toterher to
choosea word or term to describesomething.
For example:
109
A. That tree has, uh, uh
B. Tentworms.
B . Y e a h .( p . 6 )
Sacks (quoted in Jefferson, 7973, p.59) pro-
vides another example:
A. I heard you were at the beachyesterday.
What's her name,oh you know, the tall
redheadthar lives acrossthe streetfrom
Larry? The one who drove him to work
thc day his car was
A. Yeah Gina. Shesaid she saw you at the
beachyesterday.
Clark and Wilkes-Gibbs (1986) point out
that such excerprs are highly social and col-
laborative. Clark and his collaborators have
conducted experiments showing how, even
when one person is rhe official speaker,both
individuals contribute possible terms, modify
references(which are not necessarilyintell!
gible to oursiders)(Clark 6c Wilkes-Gibbs,
1986; Schober 6< Clark, 1989). Our main
point here is that their researchfocus is on the
dialogue that produces references,not on the
mental processesof the speaker.
Thus one can chooseto study the discourse
itself without using or invoking mental
as a radical behaviorism thar deniesthc exis-
tence of mental phenomena-which clearly
exist and are importanc-bur rarher a shift of
interest to the other, equally interesting phe-
nomena to be found in discourse.There is no
a priori reason why inferred mental pheno-
mena should be given primacy over discourse.
One might fairly ask, however, if re-
searchersturn away from mental models,
are they not also abandoning rheory and
becomingmerely descriptive?If individual or
intrapsychicexplanationswere rhe only way
110
theory could be built, then eschewingthem to
focus on discoursewould indeed be atheoreti-
cal. However, it is also possibleto answer the
question of "why" by examining hout and
what for (Varzlawick, Beavin Bavelas, 6<
Jackson, 1967, p, 45), that is, by looking at
interpersonalprocessesand at the socialeffects
of communicative asts. As theorists, w€ can
look ourward rather than inward. For example,
in our studiesof equivocalcommunication, we
focused on goals, not as mental intentions
or plans,but as propertiesof the socialworld:
the options available and their consequences
(Bavelas, 1991; Bavelas, Black, Chovil, &
Mullen, 1990). Specifically,we have shown
that equivocationoccurswhen all of the direct
options (e.g.,lying or telling a hurtful truth)
are negativeand to be avoided.In this view,
equivocation is a way of rraversinga social
minefield rather than the product of inferred
intrapsychic processes.
So far, we have suggesteda primacy of dis-
course as both the focus of interest and rhe
sourceof explanation. It is possiblero go a step
funher and adopt the even stronger prernise
that discoursecreatesour socialworld. Unseen
mental processesare not social. Only observ-
able actions or their consequencescan have
social effects,and languageuse is arguably the
predominant social action out of which our
social lives are created.Thus it is possibleto see
interp€rsonal communication not merely as
reflectingindividuals'viewsof the socialworld,
but as creatingand sustairungthe socialworld,
as the fabric of social life itself. A discursive
theoretical approach focuseson how the par-
ticipants do social actions.
An Inductive Approach:
Learningfrom rheDiscourse
Another new perspectiveone can adopt is
an inductive stance. Most researchers,espe-
cially students,have learned that one stans a
researchproiect by (a) going to the [terature m
PERSPECTIVESON INQURY
find previous theory and research,(b) forming
a hypothesis, and then (c) going to the data
(e.g., discourse) to test the hypothesis. An
alternative approach that is consistent with
discouneanalysisis to go "backward," that is,
to start inducrively by studying the discourse
first, generating hypotheses or explanations
from what one observes,and only then going
to the literature.2 (For further discussionand
examples,seeBavelas,1987, 1995.)
An inducriveapproachto discourseanalysis
involvesat leasttwo new premises.The first is
a different assumption about the role of the
literature in research.Traditionally, research
extends an existing literature, building on it
study by study to ensurethe accumulation of
knowledge. However, entirely new insights
and approach€scannot come from the litera-
ture. If the idea is already in the literature, it is
by definition not new. Moreover, the lenses
imposed by the literature will inevitably
constrainthe way in which one can seethe dis-
course. Often, rheseconstraints are unrecog-
nized becausethey are implicit in a particular
paradigm and therefore difficulr even to be
aware of, much lessto question. Without dis-
paraging the obvious importance of previous
research,we proposea balanceberweenconti-
nuity and innovation that values working
both within and outside of existing topics
and frameworks.As Yngve (1970) observes,
"There is nothing like viewing video rapes of
actual communicative activity to dispel any
preconceptions one may have" (p. 573).
The most likely source of new ideas in
many naRlral sciencesis direct observation,
the results of which often violate our precon-
ceivednotions:
A good way to tell how the work is goingis
to listen in the corridors.[f you hear the
word, "Impossible!"spokenas an expletiv,e,
followed by laughter,you will know that
someone's orderlyresearchprojectis coming
alongnicely.(Thomas,1974,p. 140)
Discourse Analysis
For example,Coates(1991) took an inductive
approach to irony in dialogue and discovered
that it is a collaborative, not an individual,
phenomenon. Microanalysis of actual dis-
course has been a fruitful source of enrirely
new ideas, from the original Naural History
of an trnterview proiect in the 1950s (keds-
Hurwitz, 1987) to conversation analysis.
lndeed, given the relative paucity of data
about the nature and workings of actual dis-
course, there is a great deal of observational
work to be done. Researchersin our field may
be like the 19th-century naturalists (of whom
Darwin was only one) who faced an exciting
new world of animals and plants to carefully
describeand understand.
If we begin to question the raditional role
of the literature, we can also question the role
of theory and hypothesis testing, which are
usually seenas necessaryto guide research.ln
the traditional view, one moves from general
to specific; theory and hypothesiscome first,
then observation: theory and deduction -+
hypothesis --> confirmatory obseruation. ln
contrast, observation can lead to theory by
moving from the specific to the general. An
initial inductive phase may lead to exciting
new hypothesesand eventheories:obsentdtion
and induction --shypotbesisand theory. Some
inductive researchers,including our group,
add a third stepby returning to the data to test
the new hypothesis,in a cycle of induction and
deduction: obseruation and induction -+
hypothesisand theory -+ confirmatory obser-
uation, !7e return to these rwo alternative
approacheslater in this chapter.
There are two cofilmon and reasonablecrit-
icisms of an inductive approach. The first is
rhat one cannot approach data free of precon-
ceptions;no researcher'smind is a blank slate,
to be written on by data without any prior
ideas influencing what he or she sees.
Therefore. some conclude, researcherswill
seeonly what they are prepared or guided by
rheir theories to see. The first statement is
111
unassailably true; the conclusion is not. All
veteranresearchershave enough experienceof
failed proiects or of cherishedbut consistently
unsupported hypothesesto know that think-
ing and wishing do not make it so. A great
deal of the methodological logic and machin-
ery of scientific inquiry has been devised to
guard against this unwanted possibiliry. Put
more positively, the researcherwill certainly
choose to observe data that fit his or her
interests(e.g.,dyadic or group interaction, the
media)and will also approachthesedata with
a set of assumptions,preconceptions,and even
hunches.Curiosity, which is the driving force
of research, is rarely neutral, but this need
not shut out new or unexpectedpossibilities.
lf one is truly curious, then theoretical pre-
ferences will not dictate one's observation.
Virrually all inductive researchersrequire a
number of instancesof a phenomenonbefore
they conclude that it is more than one of
a kind.
The second concern about conclusions
derivedfrom inductiveresearchis the dangerof
a particular kind of circularity. If the researcher
is creativeenough,so the argument goes,he or
she will always be able to find some panem
that fits this particular set of data, but that
pattern may fit only thesedata becauseit was
created from and for them. Again, new data
are the answer.That is, although it is true that
humans are very good at finding patterns and
can evenfind them in random numbers (or the
stock market!), new observationswill not
confirm a parern that fits only the limited set
of data that generatedit.
For both of these concerns, there are also
proceduresthat provide technical safeguards,
namely, interanalyst reliability and cross-
validation, to be described below. Some
researcherscharacterize these techniques as
positivist and quantitative, and will not adopt
them. In the next section we try to show how
they can be a narural extension of a logic
shared by all researchers,of whatever stripe.
1.r2 PERSPECTIVESON INQUIRY

GETTING DOWN TO DETAILS: hypothesis-testingdesigns; here we describe

TECHNICAL ISSUES some of the more specific aspects of that
choice. Anyone exposed to typical methods
All researchis about details; the big picnrre of
courses is likely to be more familiar with
theory exists only insofar as the details of data
hypothesis-testing( "theory-driven" ) research,
createand support it. Discourseanalysisdif-
which is often described as the pinnacle of
fers somewhat in the kinds of technical issues
researchdesign.Becauseof the starusafforded
thar are important; these are quite different
it in some quarters,hypothesistesting is often
from, for example, the details of experimenul
the designthat researchers choosefirst, for any
researchusing questionnaires.Technical issues
topic. We do not subscribeto this "evolution-
such as recording and transcription replace
ary scale" view of researchdesign, especially
more familiar ones, such as the psychometric
when it relieson the natural sciencesas a role
aspects of rating scales or the intricacies of
model. A careful readingof the history of (and
factorial designs.ln this section we consider
contemporary research in) life sciencessuch
choices of researchdesign, reliabiliry, record-
as biology reveals a strong foundation of
ing, transcription,and someethicalissuc. We
painstaking inductive observation. However,
continueto emphasizethe broadertheoretical
design prejudice runs in both directions. Just
assumptionsthat underiie particular method-
as some experimentalists mistrust inductive
ologicalchoices.
research, some inductive researchers reject
experimentalor hypothesis-testingdesignsout
Research Design of hand, primarily becauseof historical posi-
tivist associarions.Our eclecticview is going to
A researchdesignis simply an orderly plan
offend extremistson both sides,so we address
for gathering and analyzing data, one that
our remarks to those who want to make up
serves the pafticular goals of the researcher
their own minds.
for a particular study. It is not necessarilyor
If we put preconceptionsand receivedwis-
even usually an experimentaldesign.What is
dom aside, what are the differencesbetrveen
crucial is that researchersgive considerable
hypothesis-testing research and inductive
forethought to the plans and goals embodied
research?In hypothesis-testingresearch, the
in their designdecisionsbeforeacringon them,
theory drivesthe designfor gatheringthe data.
so that the time and effort to be invested in
Ideally, the researcherhas a cleady formulated
carrying them out are likely to serve their
hypothesis,that is, a seriousbet about what is
purpose.In our view, researchers shouldmake
going on and why. Multivariate statisticaldata
decisionsthat fit their own goalsand interests,
dredging is nor the sameas hypothesistesting.
not any particular ideology; questioning
The researcherhas to develop a desigrr that
methodological dogma and divisions can lead
clearly anticipates all possible outcomes,
to creative new options (seeBavelas,1995).
including one that would suppon his or her
An examination of our group's research,for
hypothesisand othersthat would not. Only if
example,revealsa considerableheterogeneity
the outcome can either advance or diminish
of choices.
the plausibiliry of the researcher'stheory is
there true hypothesis testing. A hypothesis-
lnductiue Versus
testing design demands an up-front commit-
Hy p ot h esi s-Testing D esigns
ment, and a great deal of experimental,
As describedabove,one major choiceto be quantitative, statisticalresearchdo€s not meet
made at the outset is between inductive and this standard. On the other hand, contrary to
Discourse Analysis
a common antirealist criticism, experiments
never attempt to (and cannot) "prove" that a
hypochesisis "rrue." Rather, experimentsare
one way of finding out which explanation of
the data is more probable or which hypothesis
is the best fit-at leastundl a bener one comes
along.
In inductive research.the data lead to the
theory. Inductive researchservesthe goal of a
researcherwho, at a particular point, has a
strong inruition that somethingnew and inter-
estingmay be going on, which he or sheneeds
to learn about. This approachmay be an early
stagein the research,or it may be the continu-
ing preferenceof the researcherat any stage.
The inductive researcher'sprimary moriva-
tions is curiosity abour the data. As noted ear-
Iier, no inductive researcheris free of a general
framework of assumptions,but the ideal is to
Iearn from the data and be prepared to have
one's preconceptions changed by the data.
New ideasor entirely new frameworks are not
going to come from the library; they will come
from carefully observeddata. There are some
guideluresfor embarking on this open-ended
process(e.g.,Bavelas,1.987; Wood & Kroger,
2000), which requiresa good deal of fairh in
oneselfand one's abiliry to observecloselyand
to be fair.
The major objection to inductive researchis
a concern that the researcherwill invent a
paftern in the data whether one is there or not.
That is, the valuable creativepossibilitiesof
this method must be weighed againstthe more
mundanepossibiliry of rhe researcher'ssimply
fooling him- or herself. However, logic
provides an answer that many inductive
researchersfollow, formally or informally.
Having observedand made inductive proposi-
dons based on observeddata, most inductive
researchersgo on to seekconfirmadon of their
conclusionsin new setsof data. One designfor
formalizing this process is analogous to the
statistical procedure of cross-ualidation in
multiple regression.When approachinga new
113
setof data inductively, the researcherlimits the
anaiysisto a subaampleof the whole (ideally,
a randomly chosensubsample).Basedon this
initial inductive analysis,the researchermakes
a commitment to what has been found and
then is prepared to test it in the remainder of
the sample. If the original pattern was ran-
dom, ir will disappear in the new data set.
Dependingon the outcome, a cross-validation
strategy provides either a useful safeguard
against the potential weakness of inductive
researchor a powerful demonstration of its
validiry.
Returning to the choice between induqtive
and hypothesis-tesringdesigns,one possibiliry
is to use both, at different times. In our own
research,we often follow a cycle of, first, going
to the data to learn, then cross-validatingon a
larger data set, and then experimentallytesting
the hypotheses developed in the inductive
phase.The challengefor all researchersis to
practice tolerance toward others who make
different choices.In the end, all of us must be
able to provide preciseanswersto thesegues-
tions: What are you claiming? How do you
know?
Agreement Among Analy sts (Reliability)
It is hard to believethat the ordinarily bor-
ing topic of interanalyst(alsocalledinterrater,
interjudge, and interobserver) reliability is as
controversial as it is in the field of discourse
analysis.Some researchersreject all discourse
analysison thegroundsthat it is not reliableor
"objective," whereas others reiect reliability
procedures as futile efforts to establish
"ffuth." We discuss both of these posidons
here.
Experimental r€searchers,especially those
in psychology,place a high value on objectiv-
iry, in the sensethat the researchermust not
influencethe measurementof events.(Readers
will recognize that this is a strong realist
stance.as describedearlier.) To the extent that
 114
discourseanalysisfocuseson meaningand not
on physical actions, it must rely on interpreta-
tion by the analyst.In the view of somecritics,
all interpretation is intrinsically biased and
subjective. Becausethe researcheris making
interpretations, he or she is influencing the
measurement, which therefore cannot yield
objectivedata.
The answer to rhis criricism is rhat all
sensory data are interpretive, including read-
ings on a dial or thermometer and counts of
physical movements. Cenain measures are
conventionally called obi eaiue simply because
it is obvious that independent observersare
very likely to agree:If each of us looks at the
same thermometer at the same time, presum-
ably we would have 100% agreementabout
the temperature. However, there could be
disagreementsdue to different viewing angles,
differences in eyesight, or just plain error.
Early astronomers learned that their own
reaction times affected rhe measuremenBthey
made and had to be compensatedfor; this did
not stop astronomy from becoming accepted
as an objectivescience.Ifone acceptsthe inter-
pretive role of the researcherin all measure-
ment, then the dichotomy berween obiective
and nonobiective measurement becomes,
instead, a continuum of demonstrated agree-
ment between independentobsenters,ranging
from 100% ro much lower or even nonexis-
tent agreement. When independent analysts
agreehighly, then the fear of interpretive bias
is unfounded,and any such measuremust be
accepted on equal footing with other, more
conventionally obiective measures.
However, a different group of researchers
rejects the pursuit of interanalysr agreement
for other reasons. Some simply feel that the
original analyst must be correct, by definition,
or that the skilled intuition of an experienced
analyst is not replicable. Others, especially
antirealists,seeany aftempr to establishinter-
analyst reliabiliry as an effort to establish
the "truth,' and they reject the entire realist
PERSPECTIVESON INQUIRY
epistemology--the belief that there is a reality
independent of the observer. This is not
an uueasonable reaction to the strong pro-
obiectivity stance outlined above; the rwo
positions are mirror imagesof eachother. And
if, as argued above, all measurementinvolves
at least some interpretation, then the pursuit
of an obiective truth free of interpretation is
indeed a misleading,even useless,exercise.
We would like to articulate an alternative
reason for and use of interanalyst agreement,
one that does not claim that it establishes
the truth of a rneasureor an interpretanon.
One simple way of debunking that criticism is
to point out that there is no standard of truth
in the calculation of interanalyst reliabiliry,
The usual calculation for qualitative data is
simply the number of agreements between
analystsdivided by rhe number of their agree-
ments plus disagreements.For the rarer qwln-
titadve measures,agreementis calculated by
correlation, or r, berweenanalysts' decisions,
but the same point holds: The analysts are
being compared only to €ach other, not to
'correct'
some independent standard. The
quesdon that a reliability figure answers is
simply, How well do analystsagree?There is
no claim to the truth or correcmessof what
they agree on (which is conventionally called
ualidityl.
Stripped of the claim of truth, there is quite
a different benefit to dris kind of reliability.
Establishing agreement among independent
analysts requires the careful explication of
what is being examined and how it is being
interpreted,That is, achievinghigh agreement
on complex interpretations of discourse
requirescareful and explicit description of the
interpretive and reasoning processes. This
requirement is as valuable as the goal of
demonstratingagreementitself. In our experi-
ence, we always understandtlre phenomenon
more clearly and deeplyafter we havedone the
hard and iterative work of describing (and
debating!) it sufficiently to achieveagreement.
Discourse Analysis
The extendeddefinitions that are necessaryfor
high agreement require clear statements of
what the phenomenon is and is not; many,
many examples; and a guided decision
process.(It is often helpful to put the laner in
the form of a decision tree, which articulates
rhe interprerive reasoningas a seriesof nested
decisions.) When new analysts can follow
the processand agree,we know we are clear
about the phenomenon we are srudying, and
this increased clariry also helps us in our
responsibiliry to describe it fully in research
articles.
There is a final, technical point we want
to make about interanalyst agreernent, for
readers who decide to pursue it. ln discourse
analysis,unlike other occasionsfor interrater
reliability, there are often two levels of deci-
sion: (a) locating instanceswhere the phenom-
enon is occurring and then (b) a more specific
decision about uthat kind of instance this
one is. The first level is not necessaryin, for
ersmple, questionnaire research,becausethe
answer will be located where the question
was asked. However, in naturally occurring
language, the individuals structure their own
discourse, usually for reasons that are very
different from the researcher'sinterest, and
much of what they say and do is not relevant
to what the researcher is focusing on at the
moment, So the res€archer needs, fust, to
locate sites where relevanr discourseis occur-
ring. A concrere example will illustrate this
process.Coates (1997) was interestedin the
kinds of attributions that trial judges make
about what caqses offenders to commit
crirnes-+hat is, in how judges discursively
construct responsibiliry. The legal texts that
Coates analyzed were the full judgrnents
deliveredat the endsof uials, so they contained
a great deal of information unrelatedto anri-
butions. Therefore her first step was to locate,
reliably, places in rhe texts where the iudges
were making anributions about the causes
of the crimes (e.g.,"due to his alcoholism"). In
115
the second step, she analyzed each of these
located instancesfor the kind of anribution
being made; a separatercliability was required
for this analysis.(A detailed summary of the
process our group uses for developing and
assessingthe reliabiliry of new methods of
analysisis availablein Coates,1998.)
Choosing and Recording the Data
'We
have two purposes in rhis subsection.
First, we want to provide readerswith several
ideas about where to locate discursive data
that will suit their interestr-not an exhaustive
list, but one intended to fuel readers'imagina-
tions. Second, we discuss rhe options for
recording the data for later analysis, which
necessarilydiffer depending on whether the
original discourse occurred in writing, in
spoken form, or face-to-face.
Recording and Transcription
as Tbeoretical Decisions
In a classic anicle, Ochs (1979) propos€s
that transcriptionitself is rheory; we would add
that recording embodiestheory as well. That is,
knowingly or unknowingly, researchersmake
imponant theoretical decisions when they
decide how to record and transcribe their dara.
We review some of these theoretical decisions
below, as well as some practical considerations.
Choicesregarding how and what to record
and transcribe are inevitably guided by
assumptions and presuppositions about the
phenomenonor processbeing studied. These
assumptionsmay not consdrute a fully ani-
culated theory; they may not even be recog-
nized as assumptions. However, the act of
choosingto record or transcribein a panicular
way inevitably makes some aspects of the
discoursemore salient while ocher aspectsare
unrecordedor left on rhe curdng room floor,
so to speak. It is therefore essentialthat the
researcherbe explicit about rhese decisions,
1t5
making deliberatechoicesabout what is to be
included and excluded and ensuringthat these
choicesare guided by and consistentwith the
goals of the research.
It will becomeobvious in the following that
our research group's theoretical position is
always that we should record in the same
mode in which the participants are interacdng,
on the assumprionthat they will useall of the
featuresavailableto them in any given mode.
That is, if one is prepared to analyze only
words, then one should study messagesthat
were originally wrinen (Bavelas, t984;
Bavelaset al., 1990, chap. 5). This revealsour
assumption that participants select or omit
certain behaviors becausetheir receiverswill
or will not seeor hear them; for example,they
will use voice quality when they know it will
be heard. but will use other alternatives in
writing. Many other researchers have differ-
ent views of communicatorsand communica-
tion and wouid therefore disagreewith our
position and make other decisions; their
assumptionsand rationalesshould be equally
explicit.
Ve want to emphasizehere the advantages
as well as the limitadons of any recording or
transcribingdecision.It would be possibleto
misread what follows as our suggestingthat,
becauseall data are limited and fallible, no
data are satisfactory, but this is very far from
our position. In our view, all discourseis
context specific. There is no easy source of
"naturalistic" data in the senseof their being
unaffectedby the contexts in which they occur
and the ways in which researcherschoose to
analyze them (Bavelas, 1984, 1995).r The
challengeis to understand these contextual
and technicalfactorsand to incorporatethem
in a creative manner into one's research.
Understanding the contextual factors thar
affect the participants' communication can be
a substantivegain as well as a merhodological
necessity.An understandingof how technical
decisions such as those regarding recording
ON INQUIRY
PERSPECTTVES
and transcription can affect the data and their
interpretation is essentialto the researcher's
reachingeither goal.
Textudl Material
lf the researcherhas chosen to work with
written or visual material (e.g., newspaper
articles, e-mail messages or chat room
exchanges, memos or letters, wrinen legal
iudgmenm, media ads depicdng nonverbal
communication),it is fairly easy for him or
her to obtain a printed copy of rhe entire text.
Another potential advantageto this choice is
that wrinen data can often be renderedanony-
mous, so ethical issuessuch as the protection
of the participants'identitiesare simpler,and
participantsmay be much more likely to give
their permission for use of the data. Also,
some written data are in the public domain
and requireno permissionat all for their use.
In approachinga printed record of wrinen
dialogues,it is important that the researcher
rememberrhat dre timing of the participants'
contributions has been lost. For example,
between the times when they are writing
e-mailor other correspondence, the participants
are out in the world doing other things, and
each reftrrns anew to the previous message
and his or her own reply. So, although the
researchercan read the participants' messages
in close sequence,he or she must rememkr
(and preferably encodeinto the data) that the
messageswere in fact separatedby time and
many other events.
As Linell (1982) has pointed out, written
Ianguagediffers from spoken language (and
especiallyfrom face-to-facedialogue)in timing
and many other important respects;a sum-
mary of these differences is presented in
Table 4.1. Iflhen individualscornmunicatein
writing, it is important to rememberthat, even
though the printed record of their exchanges
may sometimeslook like a record of face-to-
facedialogue,there are crucial differences:For
Discourse Analysis
Table4.1 Differences BerweenWritten and Spokcn Language
\\'ritten Text
'obiect"
Is a persisterrt,static
k can be rereadany time'
Ir seldomrequiresa rapid response.
Consists of discrete, separatesymbols
Words are easily separatcd.
Text is organizedspatiallY.
ls relatively context-free
It usesonly words and punctuation
The words are highly exPlicit.
Text is monologue and solitarY.
There is no immediatereader.
The writer and readerare in different places.
Text must often be addressedto a gcneral
audience.
ts acquired as secondary socialization
Literacy is learnedinstitutionally (in schools).
Ir is taught with explicit, consciousnorms.
The norms are more standardized,with less
variation,
SOURCE:Adaptcd from Linell (1982, pp. 5-10); rcprintcd from Bavelasand Chovil
Publications.
NOTE: Some of the features of wrinen text noted here do not apply to computer'mediated communication,
if both partiesare on-line at the samctime.
example, the participants were usually not in
rhe samesocial context or physicalsening,and
rhey may not have been responding only to
each other (e.g., memosgo to other recipients
as well; newspapereditorials and lecers to edi-
tors have larger audiences).Even the immedi-
are particiPants may have been drawing on
different memories or versions of what they
previously correspondedabout (or evenof the
messagesthey were currently resPondingto)'
They may have given more or less time to
thinking about and writing or editing their
replies. The way the recipient (or researcher)
reads a reply may not be the way the writer
"sid" ig;that is, the writer may haveintended
an emphasison one word whereas,lacking
t17
Fdce-to-FdceDialogue
Is ephemcral''dynamic'
It cannot ordinarily be reviewed.
The participantsmust respondimmediately,
"on-line.'
Is virnrally continuous
Words and other acts merg€'
Dialogue is organizedt€mPorally.
Is highly dependenton context
It usesface and hand gesturesas well as
prosodic features.
The words can be lessexPlicic.
Dialogue is a "social interplay."
There is an addresseepresent.
The participantsare in the same sening.
Dialogue can draw on the sertinS,and the
ongoing conversatlon.
Is acquired as Primaty socidization
Dialogue is learnedinrerpersonally(at home),
It is practicedrather rhan explicitly taught'
The norms are freer, with more variation.
(2000). Copyright 2000 by Sage
especially
any auditory cues' the reader may assumean
emphasison a different word. Although the
wriften version that the resealcher possesses
may be exactly what the participants wrote
and read, it is important that he or shebe alen
to unwarranted assumptionsabout hou rhey
wrote and read their messages.Ideally, the
record of their exchangeshould be annotated
to remind the analyst constantly of these
factors.
Real-time electronic exchanges(e.g', ICQ'
chat rooms) overcome some of the above
limitations, but only if they are videotaped
(e.g., Garcia & Jacobs, 1999; Phillips 6c
Bavelas, 2000). A prinrout alone cannot
capturethe precir timing of rhe exchangesand
118
in fact may even misrepresentthe sequencein
which responseswere acrually made.
Spoken (Voice-Only) Communication
There are many important settings where
interpersonal cornmunicarion occurs in voice-
only dialogues. The best example is a tele-
phone conversation; conversation analysis
began with Harvey Sacks's analyses of
recorded telephone conversations, and this
format continues to be a fascinatingsourceof
data (e.g., Hopper, 1992). Other examples
include answering-machine or voice-mail
exchangesand radio call-in programs. V/e
have usedtelephoneexchangesin the lab when
we wanted to deal only with audible features
of communicarion rarher than with both audi-
ble and visible fearures(Bavelaset al., L990,
chap. 5). Panicipanrs in spoken records are
more identifiable than those in written records
(although lessidentifiable than those in video-
taped records),so the researchershould obtain
permission to use the data. In our experience,
it is a good idea ro usea multipart permission
form that allows participants to consentto the
researcher'sanalysis of their tapes and still
withhold permission, for example, for che
resiarcher to play the tapes in public presenta-
tions where someone might recognize the
participants'voices.
Many of the samecautions given above for
written communication sdll apply, especiallyif
the exchangesexamined are not real-time dia-
logues.Even for a telephoneconversation,ir is
crucial that rhe researcherhear the exchange
as itself and not as if it were a face-to-facedia-
logue, staying constandy aware of contexnral
facrors rhat affest the panicipants (they are
not in the samephysical or social context, they
cannot see each other's actions, and so on).
With this awareness,and if rhe recording of
a real-time telephone conversation is of the
same qualiry as the participants heard, the
PERSPECTIVESON INQUIRY
researcher can come very close to "being
there." Indeed, one significant advantage of
the telephone format is that in making the
recording, the researcher has potentially
captured the conversation as it originally
occurred, ln contrast, for example, speakers
who leave messageson answering machines
are responding in part to their own circum-
stancesand even to the outgoing messagesthey
just heard, which the researcher may over-
look (e.g.,if an outgoing messageis humorous,
unexpected,unclear, or offers limited choices,it
may affect incoming messagesin systemaric
and interestingways).
Face-to-FaceDialogue
Arguably, most interpersonal communica-
tion occurs in real-time face-to-facedialogue,
which, as Table 4.1 shows, has severalunique
features. Of particular relevance for the
researcher'sdccision about recording is the
fact that face-to-facedialogue has both audi-
ble and visible fearures,so arguably the best
method of recording suchdialogue is by video-
taping. However, before we discussthis tech-
nique, we want to consider other possibilities.
Again, the method the researcherchoosesto
use for the recording of data should follow
from and be consistentwith the researchques-
tions he or she is interestedin answering and
also with the broader theory that guides the
research,
Most social interaction occurs too quick\'
to be recorded by hand (in writing) as ir
occurs.It might be possiblefor a researcherto
record the frequency of certain obvious fea-
tures if they do not happen too rapidly or too
often (e.g., the use of particular words or
phrases),but there is no possibility of accu-
rately recording their immediate context or
sequence, which most discourse analysts
would consider essential. Only real-time
recording will do.
DiscourseAnalysis
Audio recording of face-n-face dialogue.l\e
use of audio-only recordings in discourse
analysis is common and offers severaladvan-
tages. The equipment can be relatively inex-
pensive and small, making it portable and
unobtrusive; convenient standard trans-
cription equipment is available that allows
repearedplayback; and, as noted eadier, audio
recordings provide a degreeof anonymiry for
panicipants. However, one nuy need rela-
tively sophisticatedequipment to ensure rhat
voice qualities are accuratelyreproduced,that
all voicesare equally audible, and that over-
lapping speechcan be disentangled.
The central issue (and pot€ntial contro-
versy) concerning rhe use of audio recordings
of face-to-face dialogue is whether such
recordings are necessarilyincomplete-and
not iust for researcherswhose primary inter-
est is in nonverbal communicarion. Unlike
telephone conversants, participants who
interact in person are in the same physical
and social sefting and able to seeeach other
as well as the same obiectsor eventsaround
them. Each can seehow the other looks, both
can refer to features of the environment
that they can see,eachknows when the other
person is looking ar him or her, both can
seeand interpret any nonverbal actions,and
so forth.
There may be instances where the
researcher's interestis entirely lexical, that is,
focusedon verbal or grammatical features.Or
the researcher'stheory may hold that any
visible features(e.g.,gaze, body orientation,
hand and facial gestures, or the physical
obiectsor eventsin the setring)are noncom-
municative, redundant, or irrelevant. Thus the
decision to audiotape a face-to-facedialogue
is part of a cleartheoreticalposition and must
be recognizedas such. If the phenomenon or
processunder study can occur only audibly
and could not be affected by what the
researchercannot see,then the use of audio
recording is a good option. !7e offer several
179
cautions, however, about accepting this
assumption immediately.
First, in face-to-facedialogue, the partici-
pants often use deictic expressions,such as
*over here," "that oner" or'like this." In such
casesthe words are insufficient, becausethey
were intended by the speaker to bc supple-
mented by a visible action such as looking,
pointing, or gesturing.
Second,the meaningof a polysemousword
can be specified by a nonverbal demonstra-
tion. In Kendon's(1985) example:
I havea Minolta SLR [still-photo]camera,
and wheneverI referto this in my family I
always refer to it as "my Minolta."
Recently,I acquired a Minolta super-8
movie camera.Consequently the word
"Minolta" becameambiguous, for it could
referto either[cameraj.In the courseof a
convcrsation with my son--soonafter this
new camerahad beenacquired-hesaidto
me: "You could do it with yours, your
Minolta." As hesaid"Minolta" he liftedhis
handsup, thumb and forefingerof each
hand extendedat right angles to one
anotherand heldon cithersideof his face,
therebymodelingthe action of holding a
[still-photoJcamera.. . . By doing this he
disambiguated *Minolta," clearlyindicating
that it wasthe SLRhe was referringto and
not the moviecamera.(pp.225-2261
In this case, the hand gestures specified the
meaning of the word. In other cases, the
speakermay complete a verbal phraseentirely
with a gesture or facial display rather than
finding the word ("mixed syntax"; Slama-
Cazacu,1976), so that an observerneedsboth
parts to understand the ufferance. Kendon
(1985) describesa host who said to his guest,
whom he neededto drive home,
"Last night I had morecoffeethan usual. . .
and I didn't sleepwell, so maybewe oughta
/GESTLTRI/."In this gesturehe placedhis
two extendedindex fingersside by sideand
thenextendedboth armsawayfrom himself
 120
and upwardsin the directionof the door,
He thereby clearly indicatedthat he and
[hisguest]shouldleave.(p.224)
Third, some aspectsof communication are
typically not put into words. In multiparty
interactions, whom rhe speaker is addressing
(and who is anending to the speaker)is rypi-
cally indicated by gaze, rarher than verbally
(Vertegaal,1998). Finally, an audio recording
will not capture what happens in the ubiqui-
tous (auditory) pauses.A 'pause" on audio-
tape is only a verbal pause.It is not likely that
the participants were momentarily frozen in
time, doing nothing; they may have been
smiling at each other, gesturing,avoiding each
other's gaze, or engaging in any number of
other communicative acts. Researcherswho
interpret (auditory) pausesas, for example,
hesitadon or reluctance might have reached
enrirely different interpretations if they had
worked from video recordings. (fu will be
seen below, we are by no means suggesting
that a video recording missesnothing.)
The reader may appreciareby now why we
have proposed thar this issueis both theoret!
cal and porentiallycontroversial.Researchers
who insist on videotaping face-to-face dia-
logue (as our researchgroup does) often hold
the theoretical position rhat visible feailres
such as hand and facial gesturesor gazeare an
integral pan of communication (Bavelas&
Chovil, 2000). Researchers who preferaudio-
tapes often hold the theoretical position that
thesevisiblefeaturesare not so important as to
iustify the expenseand inconvenienceof video
recording. We obviously cannot seek to
resolve this issue here, but we suggest rwo
guiding principles. First, the theoreticalchoice
should be explicir and considered. Research-
ers who chooseaudio-only recordingshould
explain in their researchreporrs their underly-
ing theoretical position and rationale as it
applies to the particular studies at hand: the
same burden falls on proponents of video.
Second,many of the issuesthat guide these
PERSPECTIVESON INQT.nRY
theoretical choices could be resolved empiri-
cally. Much more researchis neededthat com-
pares audio-based and video-based analyses
of the same data. Those who advocate video
recording should suppoft their position by
showing empirically that it matters. For
example, we found in our own work thac
speakersoften made certain g*t:rrtes (inter
actiue gestures)that elicited responsessuch as
back channels from the listener, yet SOyoof
these gestureswere completely nonredundant
with speech(Bavelas,Chovil, Coates, & Roe,
1995; Bavelas Chovil, Lawrie, & Wade,
l992l.That is, there was no verbal indication
of the speaker'saction and meaning, so the
speaker'sinfluence on the listener's response
would be ignored, inexplicable, or spuriously
interpreted from an audio-only recording.
A later study demonstrated the interaction
between speaker gaze and listener respons€s
(Bavelas, Coates,& Johnson,2002;this anicle
is accompaniedby a video on CD that lets the
readerseethe effect).
Video recording of face+o-face dialogce. ln
most of this subsection we discuss issues
relatedto researchers'making their own video
recordings. We want to note, however, that
researcherswho find that this is not possible,
or who want to examine wider rangesof con-
texts than are directly available to them, may
want to consider the possibility of analyzing
documentaryfilms. For example,the National
Film Board of Canada specializesin high-
quality documentaryfilms, hundreds of which
are available through the board's Web site at
www.nfb.ca. We have also used training or
demonstrationfilms of psychotherapybecause
of the ethical problems of filming actual ses-
sions (Bavelas,McGee, Phillips, 6r Routledge,
2000; Phillips,1999).
It is important to say at the outset that
researcherswho study videotapesshould have
no illusions that viewing such recordingsis the
same as being there, As we note below, even
when a video recording is made with the best
Discourse Analysis
equipment, it is a smaller-thanJife, selective,
rwo-dimensional image that cannot in any
casecapture everything the participants could
perceive(e.g., temperature, smells, and sights
and sounds our of range of the recording
equipment).
Video recordings also present researchers
with the most challenging ethical issues,
becauseparticipants are clearly identifiable to
anyone who knows them. If the participants'
facial features and voice qualities are not of
interest, they can be electronically scrambled,
but this is usually not the case.[n our own
research,we use a multipart panicipant per-
mission form that lets each panicipant (after
having viewed his or her tape) give or with-
hold permission separately for keeping the
rapeat all, analysisby the researchtearq view-
ing by audiencesat other universities or at
conferences,viewing in classesat our univer-
srry, and any other uses we can reasonably
.rnricipate(e,g., on our Web site). Then we
transfer the coded permission starus to all
copiesof the tapes.
One potential ethical decision, whether or
not to hide the camera in the first place, is
becominga nonissue.lUith more experiencein
vrdeotaping interaction, researchershave dis-
-olered that filrning openly does not produce
-arrificial'
data. For example, Goodwin
l98l ) filns openlyin the field, aswe do in the
ieb. Certainly, presentingthe cameraas a non-
;hreareningaspectof the study is essential,but
se also have popular rcchnologyon our side:
\losr parricipants are now used to being
r rdeotapedin banks, stores,and airpons, and
::r.rnvhavetheir own camcorders.
Researchers who chooseto record on video
::rusrconsider many factors prior to collecring
:ic' data (Goodwin, 1993). First, they must
-iroose a format to record in. Popular choices
irc VHS, SuperVHS, 8mm, and digital.
.\n.rlog camerasand camcordersare relatively
-ieap. Digrtal video is more expensive,but ir
':iers improved image quality, does not
.:sr:r.rdewith repeatedviewing and provides
721,
more options for later storageand analysis.In
any case,a permanenrtime signal on the tape
is invaluable for later locating and identifying
segments.
I7ith whatever equ.ipment,camera place-
ment is an important decision:lVhat you seeis
what you get. A video recording will include
only the view and focus the rcsearcherselects.
Studies of social interaction usually require
that the behaviors of both participants be
captured by bofi lens and microphone. (Choos-
rng to film only one of the panicipants would be
a major theoreticaldecision.)The field researcher
is usually limited to only one cannera,which must
capftre everyone of interest; this probably
meansa fixed perspecriveand no close-ups.If
the participants are moving around, the
camera must track them or be set for a wide-
angleshot. When there is a choice of focus, the
researchermust usually choose, for example,
between being far enough away to see hand
gesturesand being close enough to see facial
expressions.
ln the lab, it is possible to use more than
one camera; the shots from two or more
camerascan be configured and fed onto one
split-screen videotape by a special-effects
generator or "splitter." It is also possible to
s€atthe participants in preselectedplaces.We
will illustrate some of the possibilities wirh a
two-person interaction.'With rwo cameras,the
researchercan capture a front view of both
pardcipants as they looked to each other, by
seatingthem almost face-to-face(but not per-
fectly, so they do not block each other's cam-
eras) and placing the qamerasopposite each
other, behind eachparticipant. This configura-
tion aims a camera over the shoulder of each
person, dirrctly at the face of the other, so the
viewer seesboth individuals as they looked to
each other. Then, choosing a vertical split pro-
duces a recorded image that looks as though
the participants were side by side, which is
somethingthe analyst must adiust to. (It is also
possible to produce a rwo-way split-screen
effect with iust one cameraby placing a mirror
 122
behind one of the participants, provided this
does not distract the other participant.) If
there is a third cameraavailableand a suirable
splifter, the third camera can capture both
participants from the side with a wide-angle
lens. This third image can then be split onto
the bottom of the recorded image, where it
creates a pseudo-three-dimensionalperspec-
tive, in that the analyst can see the panici-
pants' spatial movements, including hand
gesfuresand their movementstoward or away
from each other. It can take an analyst a while
to get used to this view and be able to recon-
struct from it mentally the three-dimensional
interaction; it is certainly not a literal re-
creation of the interaction.
Finally, whether recording by audio or
video, researchersmust rememhr the pracd-
cal wisdom that all of us have learnedthe hard
way. First, set up the equipment and try it out,
from a trial recording through analysisof that
recording. It is much better to find out that
you cannot analyze one trial recording
(becausethe sound is inaudible, the image is
too small, you did not include somerhingthat
had not seemedimportant at the time, and so
on) than to find our after having recorded all
of your data. And second, technophiles and
rechnophobesalike can solve the vast majoriry
of equipment problems by asking three ques-
tions: Is it rurned on? Is ir plugged in? Is it
connected?
Transcribing
Why rranscribe?There are several reasons
that researchersneed to consider separately
before embarking on this time-consuming
activity. The first is easeof access.Consider
that, with textual materials (such as e-mails or
leners), the analyst can work directly with the
printed data and can thereforeeasilystudy any
part of the data in any order and in any time
sequence.Becausewritten transcripts of non-
textual data (e.g., telephone conversations)
PERSPECTTVES
ON TNQUIRY
provide similar and familiar ease of access,
they are often more convenient to use than
audio or video recordings. That is, perusing
audio or video recordings and locating par-
ticular segmentscan be awkward and time-
consurning, so many researchers prefer ro
work with transcriptsinstead.Note, however,
that the advent of digitization may be reducing
the transcript's advantage of convenience
becausethe linear viewing constraint does not
hold. With a digitized video (even of an
originally analog recording) and appropriate
sofrware,' it is possible to go immediately ro
specified s€gmentsand to view them repeat-
edly with a simple command. Segrnentsthat
seem to demonstrate the same process or
phenomenon can be stacked up together for
comparison. (Digitized video is also easier to
transcribe,becausethe video image and word-
processingprogram can be tiled side by side on
the computer monitor, rather than using
severalpiecesof equipment.)
The other reasonsfor transcribing audio or
video records are increasingly theoretical, in
that they involve assumptions(either implicit
or explicit) about the nature of the discourse.
The researcher may sirnply produce a verbal
transcript becausehe or she rnrplicrdy assumes
thar words are the significant ftature of commu-
nication. Or the researcher may be explicidy
organizing the &a according to his or her theo-
retical interests, and a specific kind of nan-
scription is the first step. In either case, the
effecs of nanscription can h made clear by an
analogy with furmulations in conversation (in
which one person summarizesor describeswhat
the other person has just said; Garfinkel &
Sacks, 1970). Heritage and Watson (1979)
point out that formulations inevitably preserue
something of the original st^rcment, delete
pan of it, and transform other parts. A tran-
scripdon is like a formulation; it preserves
some aspects(e.g., the words), deletesothers
(e.9., visible features), and rransforms others
(e.g.,prosodic featuresmay be representedin
 Discourse Analysis
words or symbols). The challenge to the
researcheris to be aware ofthesc changesand
to be explicit about his or her rarionale.
Many established transcriprion sysrems
exist (e.g.,Jefferson,1985). The method the
researcherchoosesto us€ in transcribing the
data-whether a merhod developedby some-
one else or by the res€archerhim- or herself-
determineswhat will be preserved,what will
be ignored, and how the data are transformed.
Choosing a transcription method or crearing
one is therefore an important theoretical deci-
sion and should be treated as such. Several
papers have been wrirten on transcription
(e.g., Edwards, 1993; Ochs, 1979), so we
cover only the main considerationshere,organ-
ued into content (what to include) and format.
As you consider the following, keep in mind
that not transcribing is also an option.
What to Include?
First, the researchermust consider his or
her own researchgoals. Transcription is an
extremely time-consuming process-an hour
or more for each minute of dialogue would
not Lleunusual-so it is wasteful to transcribe
more (or less) information than one needs.
Most researcherstranscribe all of the words
spoken, but practices vary. lf a researcheris
interested only in where listeners' responses
occur (Bavelas,Coates,& Johnson,2000), for
example, he or she might transcribe all of the
listeners' responsesfrom the videotape but
transcribe the speakeronly around the points
rvhere listener responsesoccur, Such a Ean-
script would be unusable as a version of the
speaker's contribudon, but that is not its
purpose,
Whether one is working with an audio or
video recording, the prosodic and other
paralinguistic fearures are available to be
included, Many researchers,for example, are
interested in phenomena such as intonation,
srress,pauses,and timing of exchanges(for a
123
review, see Dressler & Kreuz, 2000). The
transcripts these researcherscreate therefore
include precise description and timing of
thesephenomena(e.g,,"u:h" meansan elon-
gated sound). Researchersworking from a
functional perspective,on the other hand, will
emphasize the rhetorical or meaningful
impacts that behaviorshave in a conversarion.
These researcherswill be les interested, for
example, in the absolure duration of a pause
than in an interpretive evaluation of what that
pause means in a conversation (Gumperz &
Berenz,1993), so a pausemight be transcribed
with an annotation marking it as an indication
of uncertainry.
With a video record, the researcherhas a
great deal more to decideabout, including how
to transcrib€ hand gestures,facial displays,
gaze direction, and postural and limb posi-
tions. If tfiese are included in the transcripr,
how should they be represenred?One impor-
tant choice is beween a purely physical
descripdon and a meaning-baseddescription.
For example,in Kendon's "Minolta" example
above, he first describesthe physical actions
and then adds information about what those
actionswere meant to depict ('holding a [still-
photol camera"). Ekman and Friesen's(19781
Facial Action Coding System(FACS)describes
facial expression by referring to rhe muscle
groups involved-a purely physical descrip-
tion, In contrast, Chovil (1989, 1997-19921
has developed a meaning-based sysem in
which the analystdescribeswhat the facial dis-
play is depicting (sadness,skepticism, and so
on). It is wonh pointing out that Chovil's data
demon$ratehigher interanalystreliability than
the FACS. The same can be true for interpre-
tive approachesto gestures(for funher descrip-
tion of meaning-basedsystemsfor describing
nonverbal acts, see Bavelas 6r Chovil, 2000,
pp. 175-183).This agreementis encouraging
becausesuchapproachesare more suitedto the
goal of discourr analysis,which is to study
communicationat the level of meaning,
124
Format
The format of the transcript will influence
the analysis carried out by the reader.
Transcripts should be formatted so that they
are easyto read and the appropriate informa-
tion can be extracted quickly. To make tran-
scripts readable, the researcher should
consider both the visual prominence and the
spatial arrangement of the data (Edwards,
1993). Visual prominencerefers to how the
data appear, such as the use of italic or bold-
face type, underlining, and font size.Using any
one or a combination of thesetools can give
prominence to particular elements of the
transcript. [n addition, data elementscan be
positioned spaciallyon a transcript so as ro
improve both readabiliry and efficiency.
Note that the spatial format of the tran-
script also reflects often unrecogrrizedtheo-
retical assumptions.For example, becauseof
Western writing conventions, behaviors for
which descriptionsare placed either to the left
or above other descriptionsof behaviors in a
transcript are seen as occurring before (and
potentially as causesof) behaviorstranscribed
to the right or below them (Ochs,1979).
Severalsimilar featurescan be found across
different transcription systems.Fvst, related
euents tend to be located near each other. For
example, descriptions of gesturesare usually
locatednear the speecheventswith which they
co-occur.Similarly, transcriptionssystemsthat
include prosodic information (e.g., the
London-Lund Corpus; Svartvik & Quirk,
1980), such as prominent syllable stress,
will put that information with the relevant
syllables.Second,visualprominenceis usedto
separate qualitatively different data. Trans-
cribers' comments are usua[y bracketed or
presented in font that is different from that
used for the data. Third, as noted above,
temporal rektionships are usually presented
in a left-to-right and top-down format, so thar
earlier eventsare presentedbefore later events.
Similarly,explanatorymaterialis placedat the
beginning,where it frames all that follows.
ON INQUIRY
PERSPECTTVES
Although there are many similarities among
different transcription systems,there are also
many differences, reflecting the differing
goals,theorericalassumptions,and sometimes
unrecognized presuppositions of different
researchers.For example, an important for-
matting choice concerns how to arrange
speakersinto turns, Notice that this format
presupposesthat alternating speaking turns
are a basic unit of dialogue, which rnakes
simultaneousor overlapping speechproblem-
atic and igrroresthe simultaneous, noninter-
ruptive facial expressionsand nods of those
who are not speaking.There are at lea$ three
different arrangementsused in existing tran-
scription systems:verticd, column, and pani-
ture (Edwards, 1993), as shown in the
following examples(which come from Tannen,
1989, p. 60). The uertical format is perhaps
most common. It is similar to the script of a
play, but usually with overlapping speech
shown in aligned squarebrackets:
A: Like he saysthat he saysthat Arnerican[s]
B: [Yeah]
A: or Westcrnerstendto be u:h think of the
bodyand the soul as two differentthfings,]
B: lright]
As Ochs (1,979)points out, this format has
several effectsr It encourages the reader to
link adiacent utterancesand to see each as
successively contingenton those precedingit;
it also tends to make the reader see partici-
pants as equally involved and influential in
the interaction.
When the researcherwants to highlight the
influenceof one personon rhe other, a colwnn
format may be more appropriate:
SpeakerA SpeakerB
Like he saysthat he says
thatAmericans... Yeah.
'Westerners
or tend to be u:h . . .
think of the body and the soul
as two different things. Right.
 Discourse Analysis
In this format, the speakeron the left is given
prominenceover the speakeron the right; thus
SpeakerA may be implicitly s€enas initiating
the behaviors of SpeakerB. This format does
not provide an easy way to indicate precisely
when the speakersoverlap, as they often do in
spontaneous dialogue. However, it might be
suitable for capruring asymmetriesin dialogue
or for depicting parallel speech (e.g., when
both are trying to get the floor or are having a
shoutingmatch).
Partiture formats (Tannen, 1984) are
desigrredto caprure interaction in which there
may be rnany instancesof simultaneousbehav-
iors. They are similar to multipart musical
scoresand preserveboth timing (horizontally
as opposed to venically) and the assumption
of conversationalequaliry:
A: . .. American[s]
B:
[yeah]
A: or Westerners
...
This format is continued, with line breaks as
needed.
Another imporrant choice the researcher
must make when creating a transcript is where
to put visible elementsof the dialogue,such as
hand gestures and facial displays, if indeed
they are syttematicallyincluded.Somesystems
separatethe visible elementsby placing them
in their own column on rhe right-hand side of
the transcript, roughly parallel to the spoken
words in the left column. This formar has sev-
eral effects:First, it imposesa theory of verbal
and nonverbal (audible and visible) acts as
separatechannelsand giveswords prioriry by
placing them on the left. Second,the relation-
ship betweenthe rwo is lost, For example,the
use of a gesture to supplement words is less
clear, and the precise verbal context of the
gesturemay be lost.
Researcherswho rake an integratedview of
audible and visible acts would use a format
that integrates the verbal and the visible and
also preserves their timing as precisely as
125
possible.For example, one can underline the
words that overlap the gesture and describe
the gesture in brackets underneath. The fol-
lowing example(adaptedfrom Bavelas,1994,
p. 2071also illusrates meaning-baseddescrip-
tion of the gestures;the speakersare discuss-
ing the Royal Canadian Mounted Police
(Mounties,or RCMP):
A: Is-the only RCMPin the area
is-whatl Colwoodor?
[drawsjaggedcircles,
asif on a mapl
B: Well rhat's,that'sa, a
rggulardetachmentin Colwood,
Idrawstightercircle]
A final, pracrical warning: The transcrip-
tion process rakes a toll on audio or video
records. Repeatedly playing, pausing, and
rewinding an analog tape will soon degradeits
qualiry. Therefore, researchersshould always
work from copies, using the originals only to
make new copies.As noted above,one advan-
rage of digital records is that they will nor
degrade; however, it is still wise to make at
least one copy.
New Technologies
Although most of us develop or adapt our
own systemsfor managing our data and cod-
ing social interactions, commercial sofrware
systems designed specifically for these msks
are available. One of these,Noldus Observer
Pro, is a systemfor collecting,analyzing,and
presentingobservationaldata (seethe ITeb site
at www.noldus.com).It can be usedro record
behaviorssuch as postures,movements,posi-
tions, and facial expressions.The analyst uses
key pressesto log events and the times at
which they occur. This systemmakes ir possi-
ble for the researcherro work directly from the
video record rather than from a written tran-
script of it. It also allows the analyst to add
notes and conrmentsthat are then stored with
126
the video data. The system providc facilities
for descriptive staustics,lag sequentialanaly-
sis, and reliability analysis.The data can be
exponed into spreadsheets,databases,or sta-
tistical packages.The Noldus Observerpack-
age (which costs severalthousand dollars for
the sofrware alone) can be purchasedeither
as software only or as part of a complete
hardware/softwarebundle that includesanalog
or digital cameras,VCRs, video caprurecards,
and time-code generators. Transana, on the
other hand, is a free tool for transcription and
qualitarive analysisof videotape (seethe Web
site at www2, wcer.wisc.edr:./Transana/index-
html).
Severalaffempts have been made, such as
the Texr Encoding Initiative (TEI), to intro-
duce guidelinesfor electronictext encoding
and interchange (see the TEI Web site at
www.tei<.org). The goal of thesesystemsis to
create a common encoding schemefor tran-
scripts and other text, rhat is, to reduce rhe
diversiry of existing encoding practicesand to
encouragethe sharing of data, as well as to
make it possible for the data to be read by
machines.The TEI is one of the only system-
atized attempts made thus far to develop a
fully general text encoding model and encod-
ing conventions. Becauserheseguidelines are
meaht to be applicable over a wide variery of
data, they are necessarilyrestrictivein terms of
what they permit the user to do, as well as
being time-consuming to learn. We would
expect the sametrade-off to apply ro any new
system-+hat is, the user must choor between
the porential hnefits of a common systemand
its methodological constraints, which, as we
have emphasized throughout, also impose
implicit theoretical assumprions.
WHERE TO FIND MORE
To retum to our inrroductory metaphor, we
have traveled through a lot of territory in the
far-flung field of discourseanalysis and have
stoppedto look briefly at many of its fearures,
PERSPECTIVESON INQUIRY
from theoreticaland philosophical debatesto
technical considerations,As on any tour, we
could have stayed longer in each place, and
interested readers may want to know rnore
than we have provided here or in our refer-
ences.Van Diik's (1997a,7997b)two-volume
introduction covers the many kinds of
discourseanalysis in much more detail, and
each chapter has a list of further readings on
its topic. Finally, many journals (such as
Discourse Processes,Dkcourse and Society,
Researchon Language and Social Intetuction,
and the Journal of Language and Social
Psycbologyl include srudies that have used
some form of discourse analysis. Interested
readerswill find that locating such anicles in
their own areasof interest is an excellentwar'
to continue the tour and to decidewhere (and
if) they want to go on their own.
NOTES
1. Many readerswill be stardedto seedata from
a psychology lab included as "naturally occur-
ring." However, we agree with khegloff (1992.
p. 116) that, as long as the participants are nor
confederates and are interacting spontaneouslv.
even within an assigned task or topic, their dis-
cours€cannot be arbitrarily dismissedbecauseoi
the context in which it occqrred.
2, It is undoubtedly because of the inductitr
preferencesof many discourse analysts that the.
eschewthe term coding, which has implications or
an a priori systemthat the term analysisdoes nor.
3, Ironically, the term natualistic actuall.
'as if
means narural" {e.g.,a naturalisticpainting .
4, We are currently using the softwar.
Broadway (www.b-way.com) becausc of irr
higher-quality AM format and becauseit allos'
us to create"loops," that is, to isolateand replar
selectedsegmentseasily.
REFERENCES
Atkinson,J. M., 6( Heritage,J. (Eds.).(198.t
Structurcsof socialaction:Studiesin conve,.
sation analysis. Cambridge: Cambridg.
UniversityPress.
 DiscourseAnalysis
Bartlett, F. C. (1932). Remembering.Cambridge:
CambridgeUniversityPress.
Bavelas,J. B. (1984). On "naturalistic" family
research. Family Process,23, 337-341.
Bavelas, J. B. (1987). Permitting creativity in
science, In D. N. Jackson 6( J. P. Rushton
(FAs.l,Scientificexcellence:Origins and assess-
ment (pp.307-3271.Newbury Park, CA: Sage.
Bavelas,J. B. (1991). Someproblemswith linking
goals to discourse. In K. Tracy (Ed,l, Under-
standing face-to-face interaction: Issues
Iinking goals and discourse (pp. 119-130).
Hillsdale, NJ: lawrence Erlbaum.
Bavelas,J. R. (19941. Gesruresas pan of speech:
Methodological implications. Research on
Language and Social hteraction, 27, 201-221.
Bavelas,J. B. (1995). Quanritativeversusqualita-
tive? In W. Leeds-Hurwitz (Ed.), Social
approaches to commrnication (pp, 49-62lr,
New York: Guilford.
Bavelas,J. 8., Black, A., Chovil, N., & Mullett, J.
(1990). Equiuocal communicatioa.Newbury
Park, CA: Sage.
Bavelas, J. B., 6. Chovil, N. (1997). Faces in
dialogue. In J. A. Russell E<J.-M. Fernandez-
Dofs (Eds.), The psychology of facial expres-
sioz (pp. 334-3461. Cambridge: Cambridge
University Press.
Bavelas,J. 8., & Chovil, N. (2000). Visible acts of
meaning: An integrated messagemodel of lan-
guage use in face-to-facedialogue.lourul of
Ianguage and SocialPsychology, 19,163-194.
Bavelas,J, B., Chovil, N., Coates,L.J,, 6( Roe, L.
(1995). Gestures specialized for dialogue.
Personality and Social Psychology Bulbtin,
21, 394-405.
Bavelas,J. 8,, Chovil, N., lawrie, D. A., & Wade, A.
(1992J, Interactive gestures. Discourse
Processes,15, 469-489.
Bavelas,J. B., & Coates,L. I. {19921.How do we
account for the mindfulness of face-to-face
dialogue? Communication Monographs, 59,
301-305.
Bavelas,J. B., Coates,L.J., & Johnson,T. (2000).
Listeners as co-narrators, Journal of
Personality and Social Psychology, 79,
941-952.
Bavelas, J. B., Coates, L. J., & Johnson, T.
(2002'1,Listener responsesas a collaborative
activiry: The role of gaze.lournal of Com-
munication, 52,
Bavelas, J. 8., McGee, D., Phillips, 8., &
Routledge, R. (2000). Microanalysis of
communication in psychorherapy. Human
Systems,11, 47-66.
L27
Brown, G. (1995). Speakers,Iistenersand commu-
nication: Explorations in discourse analysis.
Cambridge: Cambridge Universiry Press.
Caldas-Coulthard, C. R., & Coulthard, M.
(1996a1. Preface. In C. R. Caldas-
Coulthard & M. Coulrhard (Eds.),Texts and
plactices: Readingsin critical discourseaflaly-
sl's(pp. xi-xii). London: Routledge.
Caldas-Coulthard, C. R., & Coulthard, M. (Eds.).
(1996b). Texts and practices: Readings in
critical discourse analysis. london: Roudedge,
Chovil, N. (1989). Communicatiuefunctions of
facial disphys in conversatioz. Unpublished
doctoral dissertation, University of Victoria,
Department of Psychology.
Chovil, N. (1991 -19921.Discourse-orientedfacial
displays in conversation. Researcbon Langu-
age and Social Interaction, 25,763-194,
Clark, H. H., & Wilkes-Gbbs,D. (1985),Referring
as a collaborative process. Cognition, 22,
7-39.
Coates, L. J. (1991). A collaboratiue theory of
inuersion: Irony in dialogue. Unpublished
master's thesis, University of Victoria,
Depanment of Psychology.
Coates,L. J. (1997). Causalanributions in sexual
assault trial iudgments. Jountal of Language
and SocialPsychology, 16, 278-296.
Coates,L. J. (1998). Methods for deuelopingscoring
slsteffis and calculating relability in discourse
analysis, Unpublished manuscript, Universiry
of Victoria, Department of Psychology.
Dressler, R. A., 6( Kreuz, R. J. (2000).
Transcribing oral discourse: A survey and
model system.DiscourseProcesses,29,25-36.
Edwards, D., & Middleton, D. (1987). Conver-
sation and rememberingr Banlem revisited.
App lied Cognitiue Psychology, 1, 77-92.
Edwards,J. A. (1993). Principlesand contrast-
ing systems of discourse transcription. In
J. A. Edwards & M. D. Lampert (Eds.),
Talking data: Transcription and coding in
discourseresearch1pp. 3-32). Hillsdalc, NJ:
Lawrence Erlbaum,
Ekman, P. (1993). Facial expressionand cmotion.
American Psychologist, 48, 384-392.
Ekman, P., & Friescn,W. V. (1978). The Facial
Action Coding System: A technique for
the n easurement of facial mouement,
Palo Alto, CA: Consulting Psychologists
Press.
Fairclough, N. (1992). Discourse atd social
change. Cambridge: Polity.
Fairclough,N. (1993). Critical discourseanalysis
and the markctization of public discourser
 128
The universiries.Discourse and Sociery, 4,
13 3 - 16 8 .
Fowler,R. (1996).On critical linguistics.In C. R.
Caldas-Coulthard6< M. Coulthard (Eds.),
Texts and practices:Readingsin critical dis-
caurse analysis (pp. 3-1,41. London:
Routledge.
Garcia,A. C., 6( Jacobs,I. B. (19991.The eyesof
the beholder:Understandingthe turn-taking
system in quasi-synchronouscomputer-
mediated communication. Research on
Languageand SocialInteraction, 32, 337-367.
Garfinkel, H., Ec Sacks,H. (1970). On formal
structures of practical actions. ln
J. C. McKinney & E. A. Tiryakian (Eds.),
Tbeorctical sociology (pp. 337-3661.
New York: Appleton-Century-Crofts.
Gifbert,G. N., Ed Mulkay, M. (1984).Opening
Pandora's box: A sociological analysis of
scientists'discourse.Cambridge:Cambridge
UniversiryPress.
Goodwin, C. (1981). Conuersationalorganiza-
tion: lnteraction betweenspeakersand hear-
ers.New York: AcademicPress.
Goodwin,C. (1993).Recordinghumaninteraction
in naturalsettings.Pragmatics,3,181-209.
Gumperz,J.J., & Berenz, N. (1993).Transcribing
conversational exchanges. InJ. A, Edwards&
M. D. Lampert (Eds.), Talking data:
Transoiption and coding in discourse
research(pp. 9l-1221.Hillsdale,NJ: Lawrence
Erlbaum.
Har16, R. (1995). Discursivepsychology.In
J. A. Smith,R. Harr6, & L. van Langenhove
(Eds.),Rethinkingpsychology(pp. 143-159).
. Thousand Oaks,CA: Sage.
Heritage,J., & Watson,R. (19791.Formulations
as conversational objects.In G. Psathas(Ed.),
Eueryday language:Studiesin ethnometbod-
ology (pp. 123-1621.New York: Irvington.
Hodge, R., & Kress, G. (1993). Languageas
ideology (Rev. ed.). London: Routledge&
KeganPaul.
Hopper, R. E. (1992). Telephoneconuersation.
Bloomington:IndianaUniversiryPress.
Jefferson,G. (19731.A caseof precisiontiming in
ordinary conversation: Overlapped tag-
positionedaddresstermsin closingsequences.
Semiotica,9, 47-96.
Jefferson,G. (1985).An exercisein the transcrip-
tion and analysisof laughter.In T. A. van
Dijk (Ed.) Handbook of discourseanalysis:
Vol. 3. Discourseand dialogue(pp. 254a1.
London: AcademicPress.
PERSPECTIVESON INQUIRY
Kendon, A. (1985). Some uses of gesture.ln
D. Tannen 6c M. Saville-Troike (Eds.),
Perspectiues on silence (pp. 215-2341.
Norwood, NJ: Ablex.
Kraut, R. E., & Johnston,R. E. (1979).Socialand
emotionalmessages of smiling: An ethologi-
cal approach. Journal of Personality and
SocialPsychology,37, 1539-l553.
Leeds-Hurwitz,W. (79871.The social history of
the Natural History of an Interview:A multi-
disciplinaryinvestigationof socialcommuni-
cation. Research on Language and Social
Interaction,20, 1-51.
Linell, P. (1982).The urinen languagebiasin lin-
guistics.Linkoping, Sweden:University of
Linkoping,Departmentof Communication.
Linell, P. (19981.Approaching dialogue: Talh,
interactionand contextsfu dialogicalpercpec-
tizes.Amsterdam:John Benjamins.
Nunan, D. (1993).Introducingdiscourseanalysis.
London: Penguin.
C)chs, E. (19791. Transcription as theory. In
E. Ochs & B, B. SchieffelinlEds.l,Deuelop-
ttrental pragmatics (pp. 43-72). New York:
AcademicPress.
Parker, l. (1992ll. Discoursedynamics: Critical
analysisfor social and indiuidual psychology.
London: Routledge.
Phillips,B. (19991,Reformulatingdisputenarra-
tives through active listcning. Mediation
Quarterly,17, 157-180.
Phillips, B., & Bavelas,J. B, (2000, June).
Comparing collaboratiueuersusautonomous
modelsof conuersationin computer-mediated
communicatioa.Paperpresentedat the annual
meeting of the International Communi-
cationAssociation,Acapulco.
Potter, J. 0996lr. Representingrealiry: Discourse,
rhetoricand socialconstructioa.l,ondon: Sage.
Potter,J., & r0iletherell,
M. (1987),Discourseand
social psychology: Beyond attitudes and
behauiour.London:Sage.
Schegloff,E. A. (1,9921.On talk and its institu-
tional occasions.In P. Drew & J. Heritage
(Eds.l, Talk at work: Interaction in institu-
tional settings(pp. 101-134).Cambridge:
CambridgeUniversiryPress.
Schiffrin, D. (1994\. Approachesto discourse.
Cambridge,MA: Blackwell.
Schober,M., & Clark, H. H. (1989). Under-
standing by addresseesand overhearers.
CognitiuePsychology,21, 27L-232.
Scon,M. B., 6{ Lyman,S. (1990).Accounts.In
D. Brissett& C. Edgley(Eds.),Life as tbeater
 Discourse Analysis
A dramaturgical sourcebook (2nd ed.,
pp. 219-2a2). New York: Aldine de Gruvter.
Slama-Cazacu , T. (1976\, Nonverbal components
in messagesequencer"Mixed syntax," In
W. C. McCormack & S. A. !(/urm (Eds.),
Language and man: Anthropologkal issues
(pp. 217-2271.Thc Hague: Mouton.
Stubbs, M. (1983). Discourse analysis: The socio-
linguistic analysis of natural language.
Chicago: University of Chicago press,
Svarwik, J., & Quirk, R. (1980). A corpus of
Englisb conuersation.Lund, Sweden:Gleerup.
Tannen, D. ( | 984). Conversational stl[e.
Norwood, NJ: Ablex.
Tannen, D. (1989). Talking uoices: Repetition,
dialogue and imagery in conuersational dis-
course. Carnbridge: Cambridge Universiry
Press.
Thomas, L. 11974ir.The liuesof the cell. New york:
Bantam.
van Dijk, T. A. (Ed.). (L997a1.Discoursestudies:
A multidisciplinary introduction: Vol. I.
Discourseas structule and process.Thousand
Oaks, CA: Sage.
van Dijk, T. A. (Ed.). (1997b), Discourse studies:
A multidisciplinary introduction: Vol. 2.
Discourse as social interaction, Thousand
Oaks,CA: Sage.
129
van Dijk, T. A. (1997c).The study of discourse.In
T. A. van Diik (Ed,), Discourse studies:A
multidisciplinary introduction: vol. L
Discourse as st/ucture and process(pp. 1-34).
Thousand Oaks, CA: Sage.
Vertegaal, R. (1998). Look utho's talking to
u.,hom. Enschede,Netherlands: Universiw of
Twente, Cognitive ErgonomicsDepanment,
Watzlawick, P., Beavin Bave.las,J., 6c Jackson,
D.D. (1967't.Pragmaticsof human commu-
nication: A study of interactional patterns,
pathologies, and paradoxes. New york:
W. W. Norton.
Willig, C. (1999). tntroduction: Making a diff.er
ence. In C. Willig (Ed.l, Applied discourse
analysis: Social and psychological interuen-
tions (pp. l-21). Buckingham:Open Universiry
Press.
Wood, L. A., & Kroger, R. O. (2000). Doing dis-
course analysis:Metbods for studying action
in talh and !ext. Thousand Oaks, CA: Sage.
Yngve,V. H. (1970). On gening a word in edge-
wise. ln Papers from the Sixth Regional
Meeting of the Chicago Linguistics Society
{pp. 567-5781.Chicago: Chicago Linguistics
Sociew.